Godshall Douglas Evan's Form 4/A amendment
AmendedShockwave Medical, Inc.SWAV · filed Aug 27, 2021
- Accession no.
- 0000950103-21-013102
- Filed
- Aug 27, 2021
- Trade date
- Aug 26, 2020
- Filing delay
- 366 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Aug 27, 2020
This filing lists 2 non-derivative transactions and 1 derivative transaction. Open-market sales total $1.02M. It was filed 366 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Godshall Douglas EvanCIK 0001404227 | Director, Officer (President & CEO) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 26, 2020 | Common Stock | MOption exerciseAcquired | +17,005 | $3.42 | +$58,157.1 | 115,364 | Direct | |
| Aug 26, 2020 | Common Stock | SSaleDisposed | −17,005 | $60.01F3 | −$1,020,470.05 | 98,359 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 26, 2020 | Common Stock | MOption exerciseDisposed | −17,005 | $0.00 | $0 | 945,648 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On August 27, 2020, the reporting person filed a Form 4 which inadvertently did not include the exercise of an option and sale of shares reported in this Form 4 amendment. The number of shares reported as beneficially owned following this transaction reflects the number of shares owned on August 26, 2020, after giving effect to the transaction reported herein.
- F2
This exercise and all sale transactions reported here were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 9/6/2019.
- F3
The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $60.00 to $60.08. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.
Referenced by the price of 1 transaction in Table I.
- F4
Twenty-Five percent of the shares subject to this option vested on 5/9/18 and the balance of the shares are scheduled to vest in equal monthly installments thereafter for 36 months.